Browse Related Topics For:

Broker-Dealer

791
SEC
419
FINRA
322
Investment Adviser
176
Enforcement Actions
141
Cybersecurity
116
Securities Exchange Act
115
OCIE
102
CFTC
101
Compliance
94
Dodd-Frank
77
Financial Institutions
75
DOL
65
Securities
63
Fiduciary Duty
63
Popular
62
Investors
60
ERISA
59
Disclosure Requirements
57
Brokers
56
Financial Markets
54
JOBS Act
53
Registration
52
Retirement Plan
50
Anti-Money Laundering
50
Banks
50
Conflicts of Interest
49
Enforcement
48
EU
46
Securities Fraud
45
Crowdfunding
44
Banking Sector
44
Fiduciary Rule
44
Insider Trading
44
Risk Alert
43
Data Protection
43
IRA
41
No-Action Letters
40
Best Interest Contract Exemptions
39
Financial Sector
39
FinCEN
39
Swaps
38
Investment Funds
37
Risk Management
36
Mutual Funds
36
Sanctions
36
Securities Act of 1933
35
Reporting Requirements
34
Proposed Amendments
33
Investment Advisers Act of 1940
33
Proposed Regulation
33
Registration Requirement
32
DOJ
32
Fraud
32
Recordkeeping Requirements
31
Exemptions
31
Federal Reserve
30
European Securities and Markets Authority (ESMA)
30
SEC Examination Priorities
29
CFPB
29
Cyber Attacks
29
FCPA
29
Pay-To-Play
29
Regulation D
29
Settlement
29
UK
28
Data Security
28
General Solicitation
28
Whistleblowers
27
Audits
27
Chief Compliance Officers
27
Data Breach
27
Final Rules
26
Financial Conduct Authority (FCA)
26
Private Placements
25
Accredited Investors
25
Financial Services Industry
25
Risk Assessment
24
ETFs
24
Finders
24
Investment Management
24
Private Equity Funds
23
Derivatives
23
Due Diligence
23
FDIC
23
Hedge Funds
23
Regulation S-P
22
High Frequency Trading
22
Insurance Industry
22
Investment Company Act of 1940
22
MSRB
22
OCC
21
401k
21
Arbitration
21
Asset Management
21
PCAOB
20
Bank Secrecy Act
20
Commodities
20
Corporate Governance
20
Funding Portal
20
NASD
20
Personally Identifiable Information
20
Private Equity
20
SIFMA
19
Civil Monetary Penalty
19
Criminal Prosecution
19
Municipal Advisers
19
NYSE
19
Policies and Procedures
19
Registered Investment Advisors
19
Rule 506 Offerings
18
Financial Adviser
18
Fund Managers
18
Industry Examinations
18
Investment Companies
18
Mary Jo White
18
NFA
17
BSA/AML
17
Disgorgement
17
New Regulations
17
Underwriting
16
Examination Priorities
16
Financial Regulatory Reform
16
Futures
16
Hackers
16
Startups
16
Trump Administration
15
CME
15
Comment Period
15
Dark Pool
15
Data Privacy
15
No-Action Relief
15
Private Funds
14
Advertising
14
Hong Kong
14
IOSCO
13
Acquisitions
13
AIFMD
13
Auditors
13
Capital Raising
13
China
13
FCMs
13
Institutional Investors
13
Investor Protection
13
Money Laundering
13
Retail Investors
13
Social Media
13
Structured Financial Products
12
Citigroup
12
Corporate Counsel
12
Cyber Incident Reporting
12
Cyber Threats
12
EB-5
12
EMIR
12
Employee Benefits
12
Exchange-Traded Products
12
Goldman Sachs
12
Investment
12
IRS
12
Offerings
12
Proposed Legislation
12
Public Offerings
12
Securities Violations
12
Security Risk Assessments
12
Security-Based Swaps
12
Spoofing
12
Suspicious Activity Reports (SARs)
12
Unregistered Brokers
11
Capital Markets
11
Capital Requirements
11
Filing Requirements
11
FSOC
11
Internal Revenue Code (IRC)
11
Municipal Bonds
11
Nasdaq
11
NEP
11
New Guidance
11
Regulatory Standards
11
Securities Transactions
11
Swap Dealers
11
Training
11
Vendors
11
Virtual Currency
10
Administrative Proceedings
10
Algorithmic Trading
10
Amended Regulation
10
Annuities
10
Australia
10
Capital Acquisition Broker (CAB)
10
Cease and Desist Orders
10
Data Loss Prevention
10
European Commission
10
Fees
10
FTC
10
Internal Controls
10
Major Swap Participants
10
Market Manipulation
10
Mergers
10
NYDFS
10
RMBS
10
U.S. Treasury
9
ALJ
9
Appeals
9
Best Interest Standard
9
Bitcoin
9
Board of Directors
9
Bribery
9
Broker Commissions
9
Canada
9
Capital Formation
9
Class Action
9
Custody Rule
9
Elder Issues
9
Exploitation
9
Financial Statements
9
Foreign Banks
9
Forum Selection
9
GAAP
9
Intermediaries
9
Mandatory Arbitration Clauses
9
Margin Requirements
9
Misrepresentation
9
Mortgages
9
Municipal Securities Issuers
9
NIST
9
Notice Requirements
9
Penalties
9
Political Contributions
9
Public Comment
9
Safe Harbors
9
Transfer Agents
8
C-Suite Executives
8
Cease and Desist
8
Corporate Culture
8
CPO
8
Customer Protection Rule
8
Cyber Crimes
8
Derivatives Clearing Organizations
8
Emerging Growth Companies
8
Equity Markets
8
FHFA
8
Foreign Investment
8
Hiring & Firing
8
Identity Theft
8
Incentive Compensation
8
Market Participants
8
MiFID II
8
Morgan Stanley
8
Net Capital Rule
8
Ponzi Scheme
8
Private Offerings
8
Regulation A
8
Regulatory Agenda
8
Rule 15B9-1
8
SAR
8
Securities Litigation
8
Strategic Enforcement Plan
8
Stress Tests
8
Third-Party
8
Transaction Fees
8
Transparency
8
Variable Annuities
8
Volcker Rule
7
Alternative Trading Systems
7
Annual Reports
7
Arbitration Agreements
7
Background Checks
7
Bank Holding Company
7
Confidential Information
7
Cross-Border Transactions
7
Cyber Insurance
7
Deferred Prosecution Agreements
7
EDGAR
7
Incident Response Plans
7
ISDA
7
Liquidation
7
Marketing
7
Material Nonpublic Information
7
Merrill Lynch
7
Misappropriation
7
Money Market Funds
7
Municipal Securities Market
7
OTC
7
Prospectus
7
Ranieri Partners
7
Ransomware
7
Rating Agencies
7
Regulation SCI
7
Regulatory Oversight
7
Retirement
7
Risk Mitigation
7
Rule 2210
7
Stocks
7
Supervision
7
Trading Platforms
7
Transaction-Based Compensation
7
Whistleblower Awards
7
White Collar Crimes
6
Bad Actors
6
Benefit Plan Sponsors
6
BrokerCheck
6
Commercial Bankruptcy
6
Commodity Pool
6
Consumer Financial Products
6
Credit Suisse
6
Cross-Selling
6
Delays
6
False Statements
6
FFIEC
6
Financial Reporting
6
Fixed Income Investments
6
Hedging
6
Investment Firms
6
IPO
6
JPMorgan Chase
6
Life Insurance
6
Liquidity Risk Management Rule
6
NASAA
6
Neither Admit Nor Deny Settlements
6
Presidential Elections
6
Prohibited Transactions
6
Proprietary Trading
6
Rule 147
6
Rule 15a-6
6
Rule 15c6-1(a)
6
SCOTUS
6
SEC Advisory Committee
6
Securities Settlement Cycles
6
Shareholders
6
SIFIs
6
Small Business
6
Suitability Rule
6
Supervisors
6
Third-Party Service Provider
6
Title III
6
Unregistered Securities
6
USCIS
6
Whistleblower Protection Policies
5
529 Plans
5
Aggregation Rules
5
ASIC
5
Basel Committee
5
Beneficial Owner
5
Clearing Agents
5
Collateralized Loan Obligations
5
Commodity Futures Contracts
5
Compensation Agreements
5
Customer Due Diligence (CDD)
5
Data Breach Plans
5
Department of Business Oversight
5
Dismissals
5
Disruptive Trading Practices
5
Employer Liability Issues
5
Excessive Fees
5
Executive Compensation
5
Failure To Disclose
5
FATCA
5
Forex
5
Gramm-Leach-Blilely Act
5
Hart-Scott-Rodino Act
5
Investment Banks
5
Lehman Brothers
5
Libor
5
Material Misstatements
5
MiFID
5
Private Investment Funds
5
Proposed Rules
5
PTEs
5
Publicly-Traded Companies
5
Qualified Mortgage Rule
5
Registered Representatives
5
REIT
5
Repurchases
5
Retirement Plan Providers
5
Rule 144A
5
Rule 506(c)
5
Sales Commissions
5
Self-Regulatory Organizations
5
Senior Investors
5
Statute of Limitations
5
Subsidiaries
5
Trade Market Abuse
5
Venture Capital
5
Visas
5
Websites
4
Alternative Investment Funds
4
Amended Rules
4
Asset-Backed Securities
4
Avon
4
Bank of New York (BNY) Mellon
4
Block Trades
4
Blue Sky Laws
4
Bonds
4
Books & Records
4
Brokerage Accounts
4
Business Continuity Plans
4
Canadian Securities Administration
4
CCPs
4
CEA
4
CEOs
4
Class Action Arbitration Waivers
4
Clearing Agencies
4
Corporate Officers
4
Cross-Border
4
CTA
4
Currency Transaction Reports (CTR)
4
Data Collection
4
Debt Securities
4
Elder Abuse
4
Electronic Blue Sheets
4
Electronic Communications
4
Electronically Stored Information
4
EMMA
4
Equity Securities
4
Escrow Accounts
4
European Banking Authority
4
FCRA
4
Filing Deadlines
4
FinTech
4
FOIA
4
Foreign Exchanges
4
Foreign Nationals
4
Foreign Official
4
Freddie Mac
4
FSB
4
Fundersclub.com
4
Fundraisers
4
HSBC
4
Hyperlink
4
Investigations
4
Investment Portfolios
4
Malware
4
Market Access Rule
4
Mortgage-Backed Securities
4
New Legislation
4
Pensions
4
Portfolio Companies
4
Position Limits
4
PRA
4
Price Manipulation
4
Private Right of Action
4
Privately Held Corporations
4
Prudential Regulation Authority
4
Public Disclosure
4
Public Pension
4
Recidivism
4
Restitution
4
Rule G-37
4
Section 10(b)
4
Section 5
4
Securities Exchanges
4
Securities Regulation
4
Shareholder Proposals
4
Singapore
4
Stand-Alone SBSDs
4
State and Local Government
4
Stock Exchange
4
Summary Judgment
4
Surveys
4
Threshold Requirements
4
Trustees
4
UBS
4
UCITS
4
UK Brexit
4
US v Newman
4
Valuation
4
Wash Trades
4
Wells Fargo
3
Accountants
3
Accounting Fraud
3
Administrative Hearings
3
Affiliates
3
AIFM
3
Alternative Mutual Funds
3
AML-CTF
3
AngelList
3
Arbitrage
3
Associated Persons
3
Attorney-Client Privilege
3
Auto Manufacturers
3
Automotive Industry
3
Bank of America
3
Bankers
3
Barclays
3
BEA
3
Benchmarks
3
Best Practices
3
Big Data
3
Breach of Contract
3
Business Development
3
C&DIs
3
CARDS
3
Carve Out Provisions
3
Churning
3
CME NYMEX
3
Confidentiality Agreements
3
Conflict Mineral Rules
3
Constitutional Challenges
3
Consumer Lenders
3
Cooperation
3
Corporate Financing
3
Corporations Code
3
Corruption
3
Counterparties
3
Credit Ratings
3
Creditors
3
Customer Funds Protection
3
Deutsche Bank
3
Direct Access Partners
3
Directors
3
Disclosure
3
Discovery
3
Dividends
3
EBA
3
Educational Communications Rule
3
EFTs
3
Electronic Trading
3
Employer Group Health Plans
3
Encryption
3
Energy Sector
3
Enforcement Statistics
3
ETNs
3
Examination Procedures
3
Exemptive Relief
3
Exports
3
Fannie Mae
3
Fee Disclosure
3
Financial Crimes
3
Financial Services Authority
3
Finder's Fees
3
Fines
3
Foreign Affiliates
3
Form ADV
3
Form D Filing
3
FSMA
3
Global Market
3
Government Entities
3
High Net-Worth
3
Hong Kong Securities and Futures Commission (HKSFC)
3
Hotlines
3
Immigrants
3
Independence Rules
3
Individual Accountability
3
Information Reports
3
Information Sharing
3
Injunctions
3
International Data Transfers
3
International Harmonization
3
Japan
3
Licensing Rules
3
Listing Standards
3
MCDC
3
Misleading Statements
3
Moody's
3
MSBSPs
3
Multinationals
3
Municipalities
3
National Futures Association
3
Nonbank Firms
3
Obama Administration
3
OFAC
3
Offering Documents
3
Oil & Gas
3
Omissions
3
Ontario Securities Commission (OSC)
3
Oppenheimer & Co.
3
Panama Papers
3
Patriot Act
3
Payday Loans
3
Personal Benefit
3
Personal Data
3
Phishing Scams
3
Privity of Contract
3
Professional Liability
3
Proxy Access Rule
3
Qualified Retirement Plans
3
Red Flags Rule
3
Registered Investment Companies (RICs)
3
Regulation FD
3
Regulation S-K
3
Regulation SHO
3
Required Documentation
3
Retail Market
3
Retaliation
3
Ring-Fencing
3
Rule 21F
3
Rulemaking Process
3
S&P
3
Safeguards Rule
3
Sarbanes-Oxley
3
Scienter
3
SEC Commissioner
3
Secondary Markets
3
Secretary of Labor
3
Securities Act
3
Securitization
3
SEFs
3
Senior Managers
3
Settlement Agreements
3
SIPC
3
SLUSA
3
Small Offering Exemptions
3
SRO
3
Stock Trades
3
Structured Finance
3
Suitability Requirements
3
Swing Pricing
3
Tax Returns
3
Terrorism Funding
3
Third-Party Risk
3
Tick Size
3
Time Extensions
3
TPAs
3
TRACE
3
U.S. Commerce Department
3
Unauthorized Access
3
Vulnerable Victims
3
Waiting Periods
3
Waivers
2
Administrative Authority
2
Affiliated-Business Arrangements
2
Affordable Care Act
2
Analytics
2
Annual Filings
2
Anti-Bribery
2
Anti-Corruption
2
Apple
2
Appointments Clause
2
Asia
2
Asset Freeze
2
Asset Valuations
2
Bailout
2
Bank Accounts
2
Bank of England
2
Barack Obama
2
Basel III
2
Bernie Madoff
2
Best Execution
2
BIS
2
BitLicense
2
Business Advice
2
Business Development Companies
2
Buyers
2
Bylaws
2
Captive Insurance Company
2
CBOE
2
Certiorari
2
Checking Accounts
2
Clean Shares
2
Collateralized Debt Obligations
2
Commodities Exchange Act
2
Commodity Broker
2
Compensation
2
Consent Order
2
Construction Contracts
2
Consultation
2
Consumer Contracts
2
Contract Interpretation
2
Convertible Debt
2
Corporate Financing Rule
2
Corporate Issuers
2
Countrywide
2
Covered Entities
2
Covered Transactions
2
CPOs
2
Credit Checks
2
Credit Default Swaps
2
Credit Unions
2
Criminal Conspiracy
2
Cybersecurity Framework
2
De Minimis Claims
2
Deadlines
2
Defamation
2
Depository Institutions
2
Disciplinary Proceedings
2
Dispute Resolution
2
Distribution Rules
2
Distributors
2
Division of Investment Management
2
DMO
2
Employment Contract
2
EPA
2
Equity Research Rule
2
Established Business Relationship
2
EU Data Protection Laws
2
EU-US Privacy Shield
2
European Central Bank
2
Exceptions
2
Export Controls
2
Expungement
2
Extraterritoriality Rules
2
Facebook
2
Failure-to-File
2
Fair Housing Act (FHA)
2
False Claims Act (FCA)
2
FCC
2
Federal Budget
2
Federal Register
2
Field Assistance Bulletins
2
FIRREA
2
Fitch
2
Flood Insurance
2
FLSA
2
Foreign Private Issuers
2
France
2
Free Identity Theft Protection
2
Funding
2
Funding Options
2
G-SIB
2
Gifts
2
Global Systemically Important Financial Institutions (GSIFI)
2
Governance Standards
2
Government Investigations
2
Government Officials
2
Greece
2
Healthcare
2
HHS
2
High-Yield Markets
2
Hospitality Industry
2
IFRS
2
Immigrant Investment Visas
2
Income Taxes
2
Independent Contractors
2
Independent Director
2
Indictments
2
Information Governance
2
Information Systems Security Program (ISSP)
2
Injunctive Relief
2
Institutional Investment
2
Insurance Brokers
2
Insurance Litigation
2
Intangible Property
2
Interest Rate Swaps
2
Interest Rates
2
Internal Investigations
2
Internet
2
Investment Fraud
2
IRA Rollovers
2
ISS
2
Jurisdiction
2
KBR (formerly Kellogg Brown & Root)
2
Kickbacks
2
Larger Participant
2
Legal Entity Identifiers
2
Legislative Agendas
2
Lenders
2
Leverage Ratio
2
Leveraged Loans
2
Liability Insurance
2
License Agreements
2
Limited Liability Company (LLC)
2
LiquidAlts
2
Loan Modifications
2
M&A Brokers
2
Mail Fraud
2
Management Fees
2
Manufacturers
2
Margin Calls
2
Market Pricing
2
Material Disclosures
2
Meals-Gifts-and Entertainment Rules
2
Mexico
2
Microsoft
2
MiFIR
2
Mobile Apps
2
Monetary Authority of Singapore
2
Money Services Business
2
Money Transmitter
2
Motion to Dismiss
2
NAIC
2
Negligence
2
Non-Cash Compensation
2
Non-GAAP Financial Measures
2
Non-Public Information
2
NRSRO
2
OCR
2
Offsets
2
Offshore Companies
2
OIG
2
OMB
2
Order Routing
2
PACs
2
Payment Systems
2
Pending Legislation
2
Penny Stocks
2
Pension Funds
2
Personal Liability
2
Portfolio Managers
2
Prejudgment Interest
2
Principal Transaction Exemption
2
Privacy Laws
2
Privacy Policy
2
Professional Conferences
2
Professional Misconduct
2
Proxy Season
2
Proxy Solicitations
2
Proxy Voting Guidelines
2
Public Communications
2
Public Hearing
2
Pump and Dump
2
Qualified Client
2
Rare Earth Metals
2
Real Estate Investments
2
Record Preservation
2
Recruitment Incentives
2
Recruitment Policies
2
Red Notices
2
Referral Fees
2
Regulation AT
2
Regulation NMS
2
Regulation S
2
Regulation S-X
2
Regulation T
2
Request For Information
2
Rescission
2
Resource Extraction
2
Retailers
2
Retroactive Application
2
Revenue Sharing
2
Reverse Mergers
2
RICO
2
Rule 10(b)
2
Rule 206(4)-5
2
Rule 506
2
Sales & Use Tax
2
SDN List
2
Section 10(b)-5
2
Security and Privacy Controls
2
Security Audits
2
Segregated Funds
2
Self-Reporting
2
Sellers
2
Serious Fraud Office
2
Service Contracts
2
Share Classes
2
Short Sales
2
Siemens
2
Small Cap Stocks
2
South Korea
2
Standard of Care
2
State Taxes
2
Statutory Waiting Period
2
Stock Options
2
Stock Repurchases
2
Surety & Fidelity
2
Swap Clearing
2
Tandy Letter
2
Task Force
2
Tax Exemptions
2
Tax Reform
2
Technical Standards
2
Transfer of Assets
2
Unfair or Deceptive Trade Practices
2
US-EU Safe Harbor Framework
2
Variation Margin Requirements (VM)
2
Volkswagen
2
VPPA
2
Wage and Hour
2
Wall Street
2
Wire Fraud
2
Withholding Tax
2
XBRL Filing Requirements
2
Yates Memorandum
2
Young Lawyers
1
Ability-to-Repay
1
ABLE Act
1
ABS
1
Accounting Controls
1
Accounting Standards
1
ACH Payments
1
Actual Injuries
1
ADEA
1
Adequate Assurances
1
Adjustable-Rate Mortgage
1
Administrative Appointments
1
Administrative Exemption
1
Administrative Merits Determinations
1
Administrative Procedure Act
1
Administrative Remedies
1
Admissions of Liability
1
Adverse Employment Action
1
Advisors Act
1
Advisory Committee
1
Aerospace
1
Age Discrimination
1
AICPA
1
AIG
1
Airlines
1
AirNB
1
Akamai Technologies
1
Alstom
1
Alternative Fee Arrangements
1
Amazon Marketplace
1
AMF
1
AML/CFT
1
Angel Investors
1
Annual Assessments
1
Annual Notices
1
Annual Statements
1
Anti-Abuse Rule
1
Anti-Retaliation Provisions
1
Anti-Terrorism Financing
1
Anti-Tying
1
Appearance Policy
1
Apportionment
1
Arbitration Awards
1
Arbitrators
1
Arthur Anderson
1
Article II
1
Article III
1
Asset Diversification
1
Asset Protection
1
Assignments
1
AT&T Mobility v Concepcion
1
ATMs
1
ATS
1
Attorney Generals
1
Attorney's Fees
1
Audited Financial Statements
1
Australian Securities and Investments Commission
1
Automatic Renewals
1
Automation Systems
1
Bad Faith
1
Balance Sheets
1
Bank Fraud
1
Bank Loan Markets
1
Banking Examinations
1
Banking Regulators
1
Bankruptcy Code
1
BATS Exchange
1
BDC
1
BE-180
1
Benchmarking
1
Beneficiaries
1
Bermuda
1
Bilateral Agreements
1
Binary Options
1
BizJet
1
Blockchain
1
Bonuses
1
Brazil
1
Breach Notification Rule
1
Broken Windows
1
Brokered Deposits
1
Bruker
1
Bulk Purchasing
1
Burden of Proof
1
Burden-Shifting
1
Bureau of Economic Analysis
1
Business Associates
1
Business Taxes
1
Business Valuations
1
BVI Business Companies
1
CalPERS v ANZ Securities
1
Cancellation Rights
1
Capital Markets Union
1
Carbon Emissions
1
Carried Interest
1
Case Management
1
Cayman Islands
1
CCO
1
CD&I
1
CDD
1
CDIs
1
CDS
1
Central Counterparties
1
CFIUS
1
CFOs
1
CFPB Bulletins
1
Change in Control
1
Change in Ownership
1
Chapter 11
1
Charles Schwab
1
Check the Box Rules
1
Choice-of-Law
1
CIP
1
CISO
1
CISPA
1
Citizenship
1
City of Pontiac
1
Claims Made Policy
1
Clawbacks
1
Clean Energy
1
Clearing Members
1
Closed-End Funds
1
Cloud Storage
1
CNIL
1
Co-Workers
1
Coal Industry
1
Coerced Patronage
1
Collateral
1
Collateral Bars
1
Collateral Estoppel
1
Combined Reporting
1
Commercial Mortgage Securitization
1
Commercial Real Estate Contracts
1
Commercial Real Estate Market
1
Commercial Speech
1
Commingling
1
Commission Based IRAs
1
Community Banks